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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Restricted Stock Units | (1) | 07/10/2021 | M | 567 | 07/10/2021(3) | (3) | Class A Common Stock | 567.00 | $ 0 | 0 | D | ||||
Non-Qualified Stock Option (right to buy) | $ 50.90 | 01/24/2014 | 07/24/2023 | Class 1 (convertible) Common Stock | 2,750.00 | 2,750 | I | James A. Locke III Revocable Trust (2) (4) | |||||||
Non-Qualified Stock Option (right to buy) | $ 87.13 | 01/23/2015 | 07/23/2024 | Class 1 (convertible) Common Stock | 1,606.00 | 1,606 | I | James A. Locke III Revocable Trust (2) (4) | |||||||
Non-Qualified Stock Option (right to buy) | $ 119.37 | 01/22/2016 | 07/22/2025 | Class 1 (convertible) Common Stock | 1,172.00 | 1,172 | I | James A. Locke III Revocable Trust (2) (4) | |||||||
Non-Qualified Stock Option (right to buy) | $ 166.34 | 01/20/2017 | 07/20/2026 | Class 1 (convertible) Common Stock | 1,267.00 | 1,267 | I | James A. Locke III Revocable Trust (2) (4) | |||||||
Non-Qualified Stock Option (right to buy) | $ 197.18 | 01/18/2018 | 07/18/2027 | Class 1 (convertible) Common Stock | 1,041.00 | 1,041 | I | James A. Locke III Revocable Trust (2) (4) | |||||||
Non-Qualified Stock Option (right to buy) | $ 213.85 | 01/17/2019 | 07/17/2028 | Class 1 (convertible) Common Stock | 1,015.00 | 1,015 | I | James A. Locke III Revocable Trust (2) (4) | |||||||
Non-Qualified Stock Option (right to buy) | $ 197.88 | 01/16/2020 | 07/16/2029 | Class 1 (convertible) Common Stock | 1,289.00 | 1,289 | I | James A. Locke III Revocable Trust (2) (4) | |||||||
Non-Qualified Stock Option (right to buy) | $ 180.77 | 01/21/2021 | 07/21/2030 | Class 1 (convertible) Common Stock | 1,391.00 | 1,391 | I | James A. Locke III Revocable Trust (2) (4) |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
LOCKE JAMES A III C/O CONSTELLATION BRANDS, INC. 207 HIGH POINT DRIVE, BUILDING 100 VICTOR, NY 14564 |
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/s/Barbara J. LaVerdi, Attorney-in-fact | 07/13/2021 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | Each restricted stock unit represents a contingent right to receive one share of Constellation Brands, Inc. Class A Common Stock. |
(2) | Held by the James A. Locke III Revocable Trust, of which the reporting person serves as trustee and is the sole beneficiary. |
(3) | The restricted stock units disposed of in the reported transaction vested on the date specified. Vested shares are delivered to the reporting person as of the vesting date. |
(4) | Reflects a change in beneficial ownership of the reported Non-Qualified Stock Options from direct to indirect. On July 9, 2021, the reporting person transferred the Non-Qualified Stock Options to the James A Locke III Revocable Trust. |